0001132716-24-000022.txt : 20240515 0001132716-24-000022.hdr.sgml : 20240515 20240515095659 ACCESSION NUMBER: 0001132716-24-000022 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240331 FILED AS OF DATE: 20240515 DATE AS OF CHANGE: 20240515 EFFECTIVENESS DATE: 20240515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OCONNOR, A Distinct Business Unit of UBS ASSET MANAGEMENT AMERICAS (LLC) CENTRAL INDEX KEY: 0001132716 ORGANIZATION NAME: IRS NUMBER: 061569842 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06327 FILM NUMBER: 24947777 BUSINESS ADDRESS: STREET 1: ONE NORTH WACKER DRIVE 31ST FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3125256000 MAIL ADDRESS: STREET 1: ONE NORTH WACKER DRIVE 31ST FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: UBS OCONNOR LLC DATE OF NAME CHANGE: 20010118 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001132716 XXXXXXXX 03-31-2024 03-31-2024 OCONNOR, A Distinct Business Unit of UBS ASSET MANAGEMENT AMERICAS (LLC)

ONE NORTH WACKER DRIVE 31ST FLOOR CHICAGO IL 60606

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0 QUANTERIX COM 74766Q101 395667 16794 SH DFND 16794 0 0 RADIAN GRO COM 750236101 22800 59000 SH Put DFND 59000 0 0 RAPT THERA COM 75382E109 63125 25000 SH Call DFND 25000 0 0 RAPT THERA COM 75382E109 656330 73088 SH DFND 73088 0 0 RELAY THER COM 75943R102 830324 100039 SH DFND 100039 0 0 REPLIMUNE COM 76029N106 759736 92991 SH DFND 92991 0 0 RETAIL OPP COM 76131N101 2216578 172900 SH DFND 172900 0 0 REVANCE TH COM 761330109 1252962 254667 SH DFND 254667 0 0 REVANCE TH NOTE1 761330AB5 29496294 40000000 PRN DFND 40000000 0 0 REXFORD IN COM 76169C100 3259239 64796 SH DFND 64796 0 0 REZOLUTE I COMNE 76200L309 1596960 626259 SH DFND 626259 0 0 RIGEL PHAR COMNE 766559603 995670 672750 SH DFND 672750 0 0 RYANAIR HO SPONS 783513203 30172072 207240 SH DFND 207240 0 0 RYMAN HOSP COM 78377T107 2870018 24825 SH DFND 24825 0 0 SBA COMMUN CLA 78410G104 4175809 19270 SH DFND 19270 0 0 SPDR SER T COM 78464A870 287000 300000 SH Call DFND 300000 0 0 SPDR SER T COM 78464A870 232200 90000 SH Put DFND 90000 0 0 SABRA HEAL COM 78573L106 2742050 185650 SH DFND 185650 0 0 SALESFORCE COM 79466L302 4517700 15000 SH DFND 15000 0 0 SANOFI SPONS 80105N105 1578674 32483 SH DFND 32483 0 0 SAREPTA TH COM 803607100 318125 35000 SH Call DFND 35000 0 0 SAREPTA TH COM 803607100 882011 6813 SH DFND 6813 0 0 SAVARA INC COM 805111101 435436 87437 SH DFND 87437 0 0 SCHOLAR RO COM 80706P103 734873 41378 SH DFND 41378 0 0 SCHRODINGE COM 80810D103 699462 25906 SH DFND 25906 0 0 SCYNEXIS I COMNE 811292200 208345 141731 SH DFND 141731 0 0 SELECT SEC COM 81369Y209 161200 80000 SH Call DFND 80000 0 0 SERVICENOW COM 81762P102 1615526 2119 SH DFND 2119 0 0 SHERWIN WI COM 824348106 16845505 48500 SH DFND 48500 0 0 SHOPIFY IN CLA 82509L107 501605 6500 SH DFND 6500 0 0 SILENCE TH ADS 82686Q101 1560017 72223 SH DFND 72223 0 0 SILK RD ME COM 82710M100 1658986 90556 SH DFND 90556 0 0 SILVERBOX COMCL 82836N107 2863429 273228 SH DFND 273228 0 0 SILVERBOX *WEXP 82836N115 11385 91076 SH DFND 91076 0 0 SKILLSOFT CLA 83066P309 375228 41692 SH DFND 41692 0 0 SONOS INC COM 83570H108 762400 40000 SH DFND 40000 0 0 SPECTAIRE *WEXP 84753T117 5778 231101 SH DFND 231101 0 0 SPIRIT AIR NOTE1 848577AB8 37265280 77636000 PRN DFND 77636000 0 0 SPOTIFY US NOTE3 84921RAB6 9187500 10000000 PRN DFND 10000000 0 0 SPRINGWORK COM 85205L107 2325645 47250 SH DFND 47250 0 0 SPROUT SOC COMCL 85209W109 8060850 135000 SH DFND 135000 0 0 STARWOOD P COM 85571B105 104240 65600 SH Put DFND 65600 0 0 SUN CMNTYS COM 866674104 1699828 13220 SH DFND 13220 0 0 SUNSTONE H COM 867892101 959711 86150 SH DFND 86150 0 0 SUTRO BIOP COM 869367102 1441072 255057 SH DFND 255057 0 0 SYNDAX PHA COM 87164F105 44892 77400 SH Call DFND 77400 0 0 SYNDAX PHA COM 87164F105 2580658 108431 SH DFND 108431 0 0 SYNTEC OPT *WEXP 87169M113 4395 33069 SH DFND 33069 0 0 SYROS PHAR COMNE 87184Q206 936250 175000 SH DFND 175000 0 0 TAIWAN SEM SPONS 874039100 5714100 42000 SH DFND 42000 0 0 TAL EDUCAT SPONS 874080104 3541200 312000 SH DFND 312000 0 0 TECK RESOU CLB 878742204 4536798 99100 SH DFND 99100 0 0 TERRENO RL COM 88146M101 4156640 62600 SH DFND 62600 0 0 TESLA INC COM 88160R101 170000 50000 SH Put DFND 50000 0 0 TESLA INC COM 88160R101 3076325 17500 SH DFND 17500 0 0 TEVA PHARM SPONS 881624209 633483 44896 SH DFND 44896 0 0 TEVOGEN BI *WEXP 88165K119 14611 185416 SH DFND 185416 0 0 TG THERAPE COM 88322Q108 18000 120000 SH Call DFND 120000 0 0 THE TRADE COMCL 88339J105 961620 11000 SH DFND 11000 0 0 THIRD HARM COM 88427A107 456924 48403 SH DFND 48403 0 0 TOURMALINE COM 89157D105 345000 20000 SH Put DFND 20000 0 0 TRAVERE TH NOTE2 89422GAA5 16388587 25500000 PRN DFND 25500000 0 0 TREACE MED COM 89455T109 1773665 135913 SH DFND 135913 0 0 TRIP COM G ADS 89677Q107 16019850 365000 SH DFND 365000 0 0 TUTOR PERI COM 901109108 16398 93700 SH Put DFND 93700 0 0 VNET GROUP SPONS 90138A103 232500 150000 SH DFND 150000 0 0 TWILIO INC CLA 90138F102 1987375 32500 SH DFND 32500 0 0 UBER TECHN COM 90353T100 10900 170000 SH Put DFND 170000 0 0 UIPATH INC CLA 90364P105 1133500 50000 SH DFND 50000 0 0 ULTRAGENYX COM 90400D108 60990 10700 SH Call DFND 10700 0 0 ULTRAGENYX COM 90400D108 1989274 42606 SH DFND 42606 0 0 UNITED AIR COM 910047109 13315428 278100 SH DFND 278100 0 0 UNITED THE COM 91307C102 351012 1528 SH DFND 1528 0 0 UNITY BIOT COMNE 91381U200 115451 70397 SH DFND 70397 0 0 URBAN EDGE COM 91704F104 2349584 136050 SH DFND 136050 0 0 VANECK ETF GOLDM 92189F106 3952500 125000 SH DFND 125000 0 0 VAXCYTE IN COM 92243G108 410338 6007 SH DFND 6007 0 0 VENTYX BIO COM 92332V107 737000 134000 SH DFND 134000 0 0 VERASTEM I COMNE 92337C203 545538 46232 SH DFND 46232 0 0 VERA THERA COM 92337R101 97000 20000 SH Call DFND 20000 0 0 VERA THERA COM 92337R101 83000 20000 SH Put DFND 20000 0 0 VERA THERA CLA 92337R101 1188646 27566 SH DFND 27566 0 0 VERONA PHA SPONS 925050106 584147 36305 SH DFND 36305 0 0 VERU INC COM 92536C103 209485 299221 SH DFND 299221 0 0 VERTIV HOL COMCL 92537N108 5333051 65300 SH DFND 65300 0 0 VICI PPTYS COM 925652109 2283404 76650 SH DFND 76650 0 0 VIKING THE COM 92686J106 387500 50000 SH Call DFND 50000 0 0 VIRIDIAN T COM 92790C104 288162 16457 SH DFND 16457 0 0 VISION SEN CLASS 92838J103 1955498 175381 SH DFND 175381 0 0 VISTRA COR COM 92840M102 26505 27900 SH Put DFND 27900 0 0 VISTRA COR COM 92840M102 2786000 40000 SH DFND 40000 0 0 ELME COMMU SHBEN 939653101 1592448 114400 SH DFND 114400 0 0 WASTE CONN COM 94106B101 10639679 61855 SH DFND 61855 0 0 WAYFAIR IN CLA 94419L101 271520 4000 SH DFND 4000 0 0 WESTERN DI COM 958102105 12108 14500 SH Put DFND 14500 0 0 WINVEST AC *WEXP 97655B117 285 18392 SH DFND 18392 0 0 WOLFSPEED COM 977852102 1917500 65000 SH DFND 65000 0 0 WYNDHAM HO COM 98311A105 5385931 70175 SH DFND 70175 0 0 XENON PHAR COM 98420N105 343840 7987 SH DFND 7987 0 0 X4 PHARMAC COM 98420X103 1856374 1335521 SH DFND 1335521 0 0 XEROX HOLD COM 98421M106 295940 294800 SH Put DFND 294800 0 0 ZILLOW GRO CLA 98954M101 2512650 52500 SH DFND 52500 0 0 ZTO EXPRES SPONS 98980A105 3831015 182952 SH DFND 182952 0 0 ZSCALER IN COM 98980G102 3852600 20000 SH DFND 20000 0 0 ZOOM VIDEO CLA 98980L101 1797675 27500 SH DFND 27500 0 0 ZYMEWORKS COM 98985Y108 572888 54457 SH DFND 54457 0 0 AGRICULTUR SHSCL G0131Y100 3504743 344955 SH DFND 344955 0 0 ALCHEMY IN SHSCL G0232F109 1095917 103486 SH DFND 103486 0 0 AP ACQUISI CLAOR G04058106 2115914 187581 SH DFND 187581 0 0 APX ACQUIS CLASS G0440J109 2144051 187581 SH DFND 187581 0 0 APX ACQUIS *WEXP G0440J125 14402 91439 SH DFND 91439 0 0 AXALTA COA COM G0750C108 2931748 85250 SH DFND 85250 0 0 BIOHAVEN L COM G1110E107 110400 23000 SH Call DFND 23000 0 0 BLUERIVER *WEXP G1261Q115 3684 49521 SH DFND 49521 0 0 CAPRI HOLD COM G1890L107 182070 12600 SH Put DFND 12600 0 0 CARTESIAN CLASS G19305112 4093791 368478 SH DFND 368478 0 0 CARTESIAN *WEXP G19305120 13523 122826 SH DFND 122826 0 0 COLOMBIER COMSH G2283U100 4108000 400000 SH DFND 400000 0 0 COLOMBIER *WEXP G2283U118 63333 133333 SH DFND 133333 0 0 CSLM ACQUI CLASS G2365L101 1725740 156317 SH DFND 156317 0 0 CSLM ACQUI *WEXP G2365L119 8976 68781 SH DFND 68781 0 0 CORNER GRO *WEXP G2425N113 13169 75251 SH DFND 75251 0 0 CORNER GRO *WEXP G2426E120 5693 116665 SH DFND 116665 0 0 ESTABLISHM COM G31249108 1956850 38445 SH DFND 38445 0 0 ENPHYS ACQ CLAOR G3167L109 1328977 122826 SH DFND 122826 0 0 ARES ACQUI SHSCL G33033104 1805007 170767 SH DFND 170767 0 0 ARES ACQUI *WEXP G33033120 17290 85383 SH DFND 85383 0 0 FTAI AVIAT SHS G3730V105 5915670 87900 SH DFND 87900 0 0 GENERATION CLAOR G38258102 3583054 325141 SH DFND 325141 0 0 GENERATION *WEXP G38258128 117444 938800 SH DFND 938800 0 0 FINNOVATE CLASS G3R34K103 1614308 143494 SH DFND 143494 0 0 FINNOVATE *WEXP G3R34K111 2282 130406 SH DFND 130406 0 0 HAYMAKER A CLASS G4375F108 1078324 103486 SH DFND 103486 0 0 HERBALIFE COM G4412G101 358440 82400 SH Put DFND 82400 0 0 HOLLYSYS A SHS G45667105 8321200 325301 SH DFND 325301 0 0 ICON PLC SHS G4705A100 326543 972 SH DFND 972 0 0 INFLECTION CLAOR G4790U102 2167007 206973 SH DFND 206973 0 0 INFLECTION *WEXP G4790U110 15844 103486 SH DFND 103486 0 0 INTEGRATED ORDSH G4828B100 1423115 125054 SH DFND 125054 0 0 INVESTCORP *WEXP G49219127 10722 214435 SH DFND 214435 0 0 INVESTCORP CLASS G4923T105 1764037 156317 SH DFND 156317 0 0 JAWS MUSTA *WEXP G50737124 38831 172581 SH DFND 172581 0 0 JOHNSON CT SHS G51502105 6081292 93100 SH DFND 93100 0 0 KINIKSA PH COMCL G5269C101 1864386 94495 SH DFND 94495 0 0 LEARN CW I CLAOR G54157105 3498059 318875 SH DFND 318875 0 0 LEARN CW I *WEXP G54157113 11093 231102 SH DFND 231102 0 0 LEGATO MER UNIT9 G5451A129 2027000 200000 SH DFND 200000 0 0 MEDTRONIC SHS G5960L103 1455579 16702 SH DFND 16702 0 0 MOUNTAIN & *WEXP G6301J112 10974 136155 SH DFND 136155 0 0 NABORS IND COM G6359F137 172855 19100 SH Put DFND 19100 0 0 NABORS ENE CLA G6363K106 2511267 241468 SH DFND 241468 0 0 NORWEGIAN COM G66721104 396368 233800 SH Put DFND 233800 0 0 NORWEGIAN SHS G66721104 3726189 178031 SH DFND 178031 0 0 NOVOCURE L COM G6674U108 119500 100000 SH Call DFND 100000 0 0 NOVOCURE L ORDSH G6674U108 356083 22782 SH DFND 22782 0 0 NVENT ELEC SHS G6700G107 11948638 158470 SH DFND 158470 0 0 PATRIA LAT CLASS G69454109 2773411 245652 SH DFND 245652 0 0 PATRIA LAT *WEXP G69454117 16895 178033 SH DFND 178033 0 0 PLUM ACQUI CLASS G7134L126 1768167 159438 SH DFND 159438 0 0 PYROPHYTE CLAOR G7308P101 1774545 159438 SH DFND 159438 0 0 RCF ACQUIS CLACO G7330C102 1771356 159438 SH DFND 159438 0 0 RIGEL RESO CLAOR G7573M106 5162808 462203 SH DFND 462203 0 0 ROADZEN IN *WEXP G7606H116 6248 67181 SH DFND 67181 0 0 RMG ACQUIS *WEXP G76088122 8873 126755 SH DFND 126755 0 0 ROIVANT SC SHS G76279101 1024667 97217 SH DFND 97217 0 0 SCREAMING CLASS G79407105 18398564 1719492 SH DFND 1719492 0 0 SDCL EDGE *WEXP G79471127 6862 49013 SH DFND 49013 0 0 SEAGATE TE ORDSH G7997R103 1628375 17500 SH DFND 17500 0 0 PENTAIR PL SHS G7S00T104 17156352 200800 SH DFND 200800 0 0 SK GROWTH CLASS G8192N103 6789207 614130 SH DFND 614130 0 0 SLAM CORP CLASH G8210L105 2032650 182628 SH DFND 182628 0 0 SPARK I AC ORDSH G8316B100 707848 68991 SH DFND 68991 0 0 STONEBRIDG *WEXP G85094129 6351 138661 SH DFND 138661 0 0 TLGY ACQUI CLASS G8656T109 1766382 156317 SH DFND 156317 0 0 TRISTAR AC CLAOR G9074V106 883990 80656 SH DFND 80656 0 0 ALCON AG ORDSH H01301128 504238 6054 SH DFND 6054 0 0 CRISPR THE COM H17182108 10800 16000 SH Call DFND 16000 0 0 CRISPR THE COM H17182108 242000 20000 SH Put DFND 20000 0 0 TRANSOCEAN COM H8817H100 1712975 828400 SH Put DFND 828400 0 0 WIX COM LT SHS M98068105 343700 2500 SH DFND 2500 0 0 AFFIMED N ORDIN N01045207 101076 19071 SH DFND 19071 0 0 ASML HOLDI NYREG N07059210 1121863 1156 SH DFND 1156 0 0 ELASTIC N ORDSH N14506104 15036000 150000 SH DFND 150000 0 0 INFLARX NV COM N44821101 588910 382409 SH DFND 382409 0 0 MERUS N V COM N5749R100 53000 20000 SH Call DFND 20000 0 0 MERUS N V COM N5749R100 50000 20000 SH Put DFND 20000 0 0 MERUS N V COM N5749R100 1424839 31642 SH DFND 31642 0 0 UNIQURE NV SHS N90064101 369533 71064 SH DFND 71064 0 0